Branch offices
0 offices
FINRA: Small firm
Data sourced from FINRA BrokerCheck public records. Disclosures reflect reported events, not proven violations. Verify at BrokerCheck ↗
CRD #6555 · FINRA BrokerCheck + SEC IAPD
Legg Mason Wood Walker, Incorporated
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Legg Mason Wood Walker, Incorporated ranks #65 of 20,055 by disclosure count (most disclosures first). Legg Mason Wood Walker, Incorporated carries 71 BrokerCheck disclosures across 0 branch offices - heavy load for a single-office firm, earning a Grade F.
- Grade F
- Safety grade
- 0
- branch offices
- 71
- disclosures
- #65 of 20,055
- disclosure rank · graded
FINRA BrokerCheck disclosure docket
CRD record 6555 Legg Mason Wood Walker, Incorporated
Legg Mason Wood Walker, Incorporated · Grade F · 71 disc · 71.00/office · Single-office firm
- CRD 6555
- GRADE F
- DISC 71
- REG 26
- ARB 45
- CIV 0
- BRANCH 0
- PER-OFF n/a
- RANK #65 of 20,055
- BOOK Single-office firm
Intensity peers
Nearest same-size peer: Concourse Financial Group Securities, Inc. (69.00 disc/office)
Legg Mason Wood Walker, Incorporated ranks #65 of 20,055 by disclosure count among graded broker-dealers; heavy load at 71.00 disclosures per office. Verify on FINRA BrokerCheck →
PlainAdvisorCheck rating 1/5 - an editorial, size-normalized signal, not a regulatory determination. Always verify the underlying record on FINRA BrokerCheck before engaging an advisor.
Data updated July 2026
Total disclosures
71 events
On FINRA BrokerCheck
Regulatory events
26 actions
37% of all disclosures
Disclosures per office
- per office
footprint not reported
Disclosure Breakdown
| Disclosure Type | Count |
|---|---|
| Regulatory Events | 26 |
| Arbitrations | 45 |
| Civil Events | 0 |
| Total | 71 |
Counts reflect events reported on FINRA BrokerCheck. Disclosures are reported events, not proven violations. Verify at BrokerCheck ↗
Disclosure category share
Regulatory 26 Arbitration 45 Civil 0
Firm Details
- Firm Size
- Small
- Scope
- INACTIVE
- Formed
- 06/15/1970
- State of Formation
- Maryland
- CRD Number
- 6555
- SEC Number
- 15939
Verify at FINRA BrokerCheck
FINRA BrokerCheck provides the full official disciplinary record, including individual registered advisors. Always verify before hiring a financial advisor.
View on FINRA BrokerCheck ↗What the Record Says About Legg Mason Wood Walker, Incorporated
Legg Mason Wood Walker, Incorporated (Corporation, CRD# 6555 · SEC# 15939) operates 0 branch offices - a single-office firm (FINRA: small), scope INACTIVE.
BrokerCheck shows 71 disclosures as of July 2026: 26 regulatory (37%), 45 arbitration, 0 civil. Letter grade F (1/5 internal scoring). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.
Source: FINRA BrokerCheck & SEC IAPD Public Disclosure Data
Frequently Asked Questions
Where does Legg Mason Wood Walker, Incorporated sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Legg Mason Wood Walker, Incorporated ranks #65 of 20,055 by disclosure count (most disclosures first). Ordinals match the disclosure-first sort documented on our methodology corpus-placement section. A high disclosure rank is not automatically a finding of wrongdoing; larger firms accumulate more reported events. Always review the underlying FINRA BrokerCheck detail before engaging.
What does a grade of F mean for Legg Mason Wood Walker, Incorporated?
A grade of F reflects Legg Mason Wood Walker, Incorporated's disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (single-office firm). It carries 71 total disclosures across 0 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does Legg Mason Wood Walker, Incorporated have?
Legg Mason Wood Walker, Incorporated has 71 total FINRA disclosures, including 26 regulatory events, 45 arbitrations. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is Legg Mason Wood Walker, Incorporated?
Legg Mason Wood Walker, Incorporated operates 0 branch offices and is classified by FINRA as a small firm (Single-office firm). FINRA BrokerCheck publishes branch-office counts but not a firmwide registered-representative headcount, so PlainAdvisorCheck measures firm size by branch footprint.
Where can I verify Legg Mason Wood Walker, Incorporated's disciplinary record?
You can verify Legg Mason Wood Walker, Incorporated's full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 6555. BrokerCheck provides detailed information about individual registered representatives, complaints, and regulatory actions.
What is a FINRA disclosure?
A FINRA disclosure is a reported event on a broker-dealer's record, including regulatory actions, customer complaints, arbitration proceedings, and civil court events. Disclosures are part of the public record maintained by FINRA and do not necessarily indicate wrongdoing or proven violations.
Should I avoid Legg Mason Wood Walker, Incorporated because of its disclosures?
Not necessarily. Larger firms accumulate more disclosures simply because they operate more offices, so PlainAdvisorCheck grades each firm against same-size peers rather than on raw counts. Legg Mason Wood Walker, Incorporated carries 71 disclosures across 0 branch offices (about 71.00 per office). Review the nature of individual disclosures on FINRA BrokerCheck before making a decision.
Read with this firm
- Concourse Financial Group Securities, Inc. - 69.00 disclosures/office, nearest single-office firm peer to Legg Mason Wood Walker, Incorporated's 71.00
- J.J.B. Hilliard, W.L. Lyons, LLC - 67.00 disclosures/office, nearest single-office firm peer to Legg Mason Wood Walker, Incorporated's 71.00
- J.P. Morgan Clearing Corp. - 67.00 disclosures/office, nearest single-office firm peer to Legg Mason Wood Walker, Incorporated's 71.00
- Red Flags in Advisor Records - How to read Legg Mason Wood Walker, Incorporated's heavy load disclosure profile without over-reading raw counts.
- Reading BrokerCheck Reports - Parse the 71 disclosures behind Legg Mason Wood Walker, Incorporated's Grade F.
- Highest-Risk Firms - Grade D/F firms on the same size-normalized scale as Legg Mason Wood Walker, Incorporated.
- Compare firms - put Legg Mason Wood Walker, Incorporated next to peers on grade and footprint.
Read our methodology - how this data is sourced, computed, and verified.
Data sourced from official FINRA BrokerCheck and SEC EDGAR enforcement records. See our methodology for details. Retrieved and formatted by PlainAdvisorCheck
Every figure on PlainAdvisorCheck is rendered directly from FINRA BrokerCheck and SEC IAPD disciplinary records, no number is typed in by an editor. This firm's record is rendered directly from FINRA BrokerCheck and SEC EDGAR data, no figure is typed in by an editor. See our editorial standards & corrections policy, the methodology behind these numbers, or report a data error.